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SHIA Charles

夏謙
CE BBR203Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

SHIA Charles (CE number BBR203) is an individual licensed by the Hong Kong SFC. First licensed on 2013-08-02. Their SFC licence is currently active. Accredited for regulated activities Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerAsia Lion Capital (Hong Kong) Limited
亞獅資本(香港)有限公司

Licence Record (3)

2016-01-27 – present Current
Asia Lion Capital (Hong Kong) Limited RO
RA 9
2014-04-04 – 2015-12-15
Bosera Asset Management (International) Co., Limited Rep
RA 4 RA 9
2013-08-02 – 2014-02-01
China Everbright Assets Management Limited Rep
RA 4 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/BBR203